Regulations

Regulatory Wrap Episode 32: Global Relay’s 2024 Industry Insights Report Findings

In Regulatory Wrap for the week to June 14, Jennie Clarke highlights core findings from our recently released Industry Insights report.

Regulatory Wrap Episode 31: The SEC’s Five Principles of Effective Cooperation

In Regulatory Wrap for the week to June 7, Rob Mason covers the SEC’s continued pursuit of regulatory transparency with its “five principles of effective cooperation” relating to investigations.

Stop, cooperate, and listen – The five principles of cooperating with SEC investigations

Gurbir Grewal, the Director of the SEC’s Division of Enforcement, has laid out five principles firms should adhere to in order to effectively work with investigations – and secure better outcomes.

Regulatory Wrap Episode 30: The FCA’s Operational Resilience Insights

In Regulatory Wrap for the week to May 31, Jennie Clarke discusses the theme of operational resilience, specifically reviewing the focal points the FCA highlighted in its operational resilience insights.

The Source Podcast: Getting into scrapes – Why you can’t scrape by on compliance

In our second episode we're joined by Vince Dimase, Global Director of Customer Strategy, LSEG, as we dive into why scraping is never the solution. While some providers believe scraping is ‘good enough’ when capturing communications, when it comes to compliance firms run the risk of not having the full data picture. We review why native connections and capture-from-source will keep organizations out of regulatory scrapes.

FCA’s Operational Observations: are firms prepared for operational resilience deadline?

The Financial Conduct Authority has published its observations on how firms are preparing for new operational resilience rules coming into force in 2025, which acts as a guide of focus areas for firms.

Keeping watch – Key learnings from the FCA’s Market Watch

The U.K. regulator’s Market Watch newsletter provides insight into areas of focus, investigatory findings, and potential upcoming enforcement priorities, and is a must-read for firms looking to stay on the right side of regulation.

Regulatory Wrap Episode 29: FCA’s Insights on Trade Surveillance

In Regulatory Wrap for the week to May 17, Rob Mason analyzes the FCA’s Market Watch 79 release and its observations about firms’ trade surveillance practices.

The Source Podcast: Communications Channels – why you need to catch them all

In the first episode of our series, we're joined by Pankaj Anand, Head of Governance Technology Solutions, StoneX, as we explore growing regulatory demands around communications capture, how technological innovation is changing the messaging landscape in real-time, and how regulation expectation is evolving alongside it.

How are financial regulators approaching AI integration?

Regulators globally have been implementing a variety of measures to manage the utilization of AI within the financial sector. We take a look at the key approaches so far.

Capture if you can webinar: Your questions answered

Industry experts answer compliance questions posed by the audience in our ‘Capture if you can’ webinar.